RISK REGISTER 2012

Social Sciences Division (SSD)

Page 1 2014-05-15
Risk 1: Accidents during ield !ork
200" 200# 2010 2011 2012 trending
I$%act
High High High High
&ig'
(ikeli'ood
Medium Low Low Low Low
Risk (evel
&ig'
)ediu$ )ediu$ )ediu$ )ediu$
Risk Source:
1. Equipment/ technological failue -
!na"aila#ilit$ of %afe tan%pot and
communication %e"ice% in ca$ing out off-
%ite e%each.
2. Ph$%icall$ ha&adou% en"ionment -
'dentified %ample geogaphical aea% ae
i%($ fo e%eache% )e.g. e#el infe%ted
aea%* inacce%%i#le aea%* ough teain%+
,. -atual calamitie%
Risk $itigations:
1. Po"i%ion of well-maintained '..' "ehicle%*
and communal mo#ile phone
2. /"oidance of i%($ aea to conduct e%each
and coodination with local go"enment unit
)L0!+
,. 111 and 21 1afet$ ad"i%oie% and guideline%
)13P+
Additional actions to $eet
ga%s:
Resource re*uire$ents Res%onsi+ilit, Target date o
i$%le$entation
1. Local ta"el%4 Po"i%ion of
appopiate "ehicle% #$ 21
#a%ed on equiement%/
%pecification of the
e%eache5 'ntenational
ta"el4 6anglade%h and
'ndia4 Po"i%ion of '..'
"ehicle and di"e
3fficial cell phone )with
oaming+5 '..' "ehicle
117 %taff* 'PM3* and
'..' out-po%ted %taff
/p. 8 7ec.2010
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Risk 2: (oss o researc' data
200" 200# 2010 2011 2012 trending
I$%act
High High High High
&ig'
(ikeli'ood
Low Low High High )ediu$
Risk (evel
)ediu$ )ediu$ &ig' &ig' &ig'
Risk Source:
1. Equipment/ technological failue 8
a. 3ld unit% due fo eplacement )%ince
2005-2009+.
#. 7efecti"e hadwae5 limited %toage
)Mdi"e+5
c. incompati#ilit$ i%%ue% )e.g. 7ELL
laptop% "% e:tenal di"e%+
d. inacce%%i#le 3! cental depo%ito$ of
data
2. -atual ;alamitie%
,. 'nefficient data-tun o"e of depating %taff
Risk $itigations:
1. 6ac(up pocedue in place
a. .egula indi"idual #ac(-up of data to
e:tenal had di"e
#. 6ac(up to -/1 )local and '21
a%%i%ted+
c. E:ploe co%t-effecti"e off-%ite
2. %ame a% <1
,. Pope tun-o"e of data though 117
'2//dmin ;oodinato and e%pecti"e
%ecetaie%
a. 7ata management team in place
#. !%e of '21 cleaance %heet and
'ntenal 117 %taff cleaance.
Additional actions to $eet
ga%s:
Resource re*uire$ents Res%onsi+ilit, Target date o
i$%le$entation
1. '%%uance of e:tenal di"e%
fo #ac(up pupo%e%.
2. 7i%%emination of 117
6ac(-up etie"al pocedue
though taining.
,. !pdate 117 E:tenal
6ac(up Li%t and -E2='-
/cce%%.:l%
4. 7e"elop 13P on pope
tuno"e of #a%eline data
)7ocumentation >
metadata+
5. E:ploe u%e of 77'
1. ?unding
2. 2aining
,. Hiing of 3@2
4. 6eta te%t of 117
'ntenal cleaance %taff
fom
5. 1taff time
1. '2 ;oodinato and
.MA/
2. '2 ;oodinato
,. '2 ;oodinato
4. '2/ /dmin
;oodinato
5.117 .MA/
technical team
1. /1/P
2. /% demand
ai%e%
,. Mach-/pil
2012
4. on-going
te%ting
5. 2
nd
qt. of 2012
Page , 2014-05-15
Risk -: Inaccessi+le researc' data (Internal . E/ternal)
200" 200# 2010 2011 2012 trending
I$%act
Medium High High High
&ig'
(ikeli'ood
High Low Low Low (o!
Risk (evel
&ig' )ediu$ )ediu$ )ediu$ )ediu$
Risk Source:
1. 'ntenal )7ata#a%e Management+
a. 'ncomplete 7ocumentation
#. 117 ?H14 Patial compliance to
1u"e$ template
c. 117 =.14 3utdated %econda$
data#a%e
2. E:tenal )acce%% to online data#a%e%+
a. -etwo( connecti"it$ )#o(en lin(%+
#. -on !%e-fiendl$ inteface
Risk $itigations:
1. 'ntenal )7ata#a%e Management+
a. E:ploe a"enue% to encouage %taff to
compl$
#. Pomote the u%age of the ?H1
1tandad 2emplate
c. ?equent monitoing of online and
pu#li%hed %ouce%
2. E:tenal )acce%% to online data#a%e%+
a. ?equent monitoing of netwo(
e%ouce a"aila#ilit$
#. .ede%ign inteface
Additional actions to $eet
ga%s:
Resource
re*uire$ents
Res%onsi+ilit, Target date o
i$%le$entation
1. 7e"elop %tandad% fo data
documentation
2. E:ploe we# tool
application% that can
monito we# acce%%
downtime
?unding/
=o(%hop/ 1taff
time
?unding
117 %taff
117-.7M
1. @ul$ 2012
2. Ma$ 2012
Page 4 2014-05-15
Risk 0: Inaccurate and lo! *ualit, researc' data gat'ered
200" 200# 2010 2011 2012
trending
I$%act
High
)ediu$ )ediu$ )ediu$ )ediu$
(ikeli'ood
Low )ediu$ )ediu$ )ediu$ (o!
Risk (evel
)ediu$ )ediu$ )ediu$ )ediu$ (o!
Risk Source:
1. Human #eha"io )human eo* poo Budgment+
fom out%ouced pe%onnel
2. 'nadequate le"el% of %(ill% of %ome -/.E1
patne%
Risk $itigations:
1. ;lo%ed %upe"i%ion and monitoing #$ 117
%taff
2. 2aining and capacit$ #uilding of -/.E1
patne%
Additional actions to $eet
ga%s:
Resource
re*uire$ents
Res%onsi+ilit, Target date o
i$%le$entation
1. 3n-%ite data audit
)"eification and
e"aluation of data
qualit$+
2. !%e of digital
technologie% in data
collection
?unding and 117
1taff time and -/.E1
patne%
?unding* 1taff taining
117 %taff*
colla#oating 3!%*
-/.E1 patne% and
7PP;
117 1taff
;ontinuou%
implementation
3n-going
Page 5 2014-05-15
Risk 1: Dela,ed co$%letion o data anal,sis and researc' re%orts
200" 200# 2010 2011 2012 trending
I$%act
Medium
(o! (2) &ig' &ig' &ig'
(ikeli'ood
Low (o! )ediu$ )ediu$ (o!
Risk (evel
(o! (o! &ig' &ig' )ediu$
Risk Source:
1. Ph$%icall$ ha&adou% en"ionment - 7ela$ed
completion of data collection due to natual
calamitie%* political une%t and in%ugencie%
2. 7ela$ed completion of data collection and
poce%%ing
,. 7ela$ed completion of data anal$%i% and
e%each epot%
Risk $itigations:
1. .e%chedule of data collection peiod
2. Pomotion of digital hou%ehold %u"e$ u%ing
ta#let P;
,. ;lo%ed coodination with -/.E1 patne%
and additional manpowe
Additional actions to $eet
ga%s:
Resource
re*uire$ents
Res%onsi+ilit, Target date o
i$%le$entation
1. /cqui%ition of ta#let P;
2. /%%e%%ment/
7e"elopment of ta#let
application% in digital
hou%ehold %u"e$
1. ?unding* 2aining
2. ?unding* 2aining
1. 117 .7M/ '2
;oodinato
2. 117 .7M/ '2
;oodinato
1. Ma. 8 7ec. 2012
2. Ma. 8 7ec. 2012
Page C 2014-05-15
Risk 3: Scientiic $isconduct
200" 200# 2010 2011 2012 trending
I$%act
&ig' &ig'
(ikeli'ood
(o! (o!
Risk (evel
)ediu$ )ediu$
Risk Source:
1. Po%%i#ilit$ of data fa#ication #$ %taff o
patne%/colla#oato%
2. ;aee pe%%ue to pu#li%h pape%
,. Plagiai%m5 1elf-plagiai%m
Risk $itigations:
1. ;ompliance with ;ode of ;onduct
2. Pee e"iew%
,. ;hec(ing/Dalidation of data fom patne%
4. 2aining of -/.E1 patne%
5. 117 .e%each 7ata#a%e Management 2eam
pefom% qualit$ chec(ing )pima$ data+ duing
e/ent$ to 117 fam hou%ehold data#a%e.
Additional actions to $eet
ga%s:
Resource
re*uire$ents
Res%onsi+ilit, Target date o
i$%le$entation
1. 'nfo campaign on new
pu#lication guideline% a%
%oon a% a"aila#le
2. Enhance awaene%% on
plagiai%m
,. 'mplement 7ata /cce%%
Polic$ fo 117
1. 1taff time
2. 1taff time
,. 1taff time
3! Head
117 1taff
117 .7M
3n-going
3n-going
Ma. 2012
Page E 2014-05-15
Risk 3: 4ork%lace saet,
2012 trending
I$%act
)ediu$
(ikeli'ood
Medium
Risk (evel
)ediu$
Risk Source:
1. 1lippe$ floo and %taiwa$% duing ain$
da$%
2. E$e di%comfot due to too much glae
,. 'n%tallation flaw cau%e% concen and
di%comfot
i. 6ea(age of cu#icle patition gla%%
ii. Egonomic i%%ue%
iii. 'nadequate waning %ignage on gla%%
wall%
4. Health i%( due to %udden e:po%ue to non-
ai-conditioned aea% of the office #uilding
Risk $itigations:
1. 'n%tallation of de"ice% to pe"ent ain wate
intu%ion
2. 'n%tallation of appopiate tint/ #lind%
,. E"aluation of e:i%ting in%tallation )e:.
emegenc$ light%* einfocement and fo%ting of
gla%% cu#icle patition+
4. 'n%tallation of adequate Dentilation %$%tem
Additional actions to $eet
ga%s:
Resource re*uire$ents Res%onsi+ilit, Target date o
i$%le$entation
;oodinate with 1afet$*
PP1* and H.1
?unding* 1taff time 117* 1afet$* PP1* H.1
head%
3n-going* /1/P
.isk (evel $atri/
Risk Impact/Consequence
High Impact:
Failure of addressing the risk has the potential to significantly damage or destroy the effective
functioning of IRRI or its future viability, particularly through loss of important donors confidence
or major financial or reputation loss; Also includes potentially significant employee health and
safety hazards Impact !ill affect the !hole institute
Medium impact:
Failure of addressing the risk has the potential to damage important aspects of IRRIs functions or
future viability, !hich !ould re"uire management effort and time to recover Impact !ill affect
several units in the institute
Low impact:
Failure of addressing the risk has the potential to damage particular aspects of IRRIs functions,
dra!ing on significant management effort if an adverse event occurred, but not e#pected to
damage the overall medium$long term operations of IRRI Impact !ill affect the concerned unit
only, or just a fe! units in the institute
Risk Likelihood
High Likelihood:
Risk is almost certain or likely to happen
Medium Likelihood:
Risk is most likely to happen
Low likelihood:
Risk is unlikely or rare to happen
Defining the level of risks
%nce you find the intersection bet!een the likelihood and the conse"uences, you have
determined the level of risk &hat does it mean in terms of managing the risk'
High risk( )ignificant senior e#ecutive management attention is needed and investments in
additional planned mitigating elements or *!here the risks are e#ternal and cannot be
controlled+ closed monitoring of e#ternal factors together !ith contingency plans may be
re"uired
Medium risk( ,eriodic senior management attention should be given to these, through
management information reporting -ontrol systems or contingency plans should be in place
and regularly revie!ed to ensure effectiveness.appropriateness
Low risk: -an be managed through routine procedures, unlikely to need significant application of
resources )ubject to periodic evaluation in terms of !hether the risk rating should be
revised,
Page 9 2014-05-15